Publications

Filter results
Expand / Collapse
Filter by document type
Filter by year
Sort by:

Search results

Showing 1 to 10 of 3331 search results

  1. Final Notice 2019: Andrew James Tinney [pdf]

    Final notices Published: 16/08/2019
    This final notice (Andrew James Tinney) refers to breaches of APER 1 related to failing to be open and co-operative and a lack of fitness/propriety in the wealth management and private banking sector. We imposed a public censure.
  2. Final Notice 2019: ODA Life Textile and Furniture Limited [pdf]

    Final notices Published: 16/08/2019
    This final notice (ODA Life Textile and Furniture Limited) refers to breaches of PRIN 11 related to failing to be open and cooperative in the consumer credit sector. We imposed a cancellation.
  3. Final Notice 2019: Nicholas Powell (trading as National Car Sales) [pdf]

    Final notices Published: 15/08/2019
    This final notice refers to a failure to satisfy the effective supervision threshold condition (COND) in the consumer credit sector. We imposed a cancellation.
  4. Final Notice 2019: Samuel Baker (trading as Clarity Document & Information Services) [pdf]

    Final notices Published: 15/08/2019
    This final notice refers to a failure to satisfy the effective supervision threshold condition (COND) in the consumer credit sector. We imposed a cancellation.
  5. Final Notice 2019: Neil Williams-Denton [pdf]

    Final notices Published: 08/08/2019
    This final notice refers to breaches of FIT related to threshold conditions, financial crime and lack of fitness and propriety in the Wealth Management and Investment Adviser sector. We imposed a prohibition.
  6. First Supervisory Notice 2019: SVS Securities Plc [pdf]

    Supervisory notices Published: 08/08/2019
    This first supervisory notice refers to a failure to satisfy the suitability and appropriate resources threshold conditions (COND) and to breaches of SYSC, PROD and PRIN. We imposed requirements on the firm.
  7. Final Notice 2019: CTS101 Ltd [pdf]

    Final notices Published: 01/08/2019
    This final notice (CTS101 Ltd) refers to a failure to satisfy the suitability threshold condition (COND) and to be open and co-operative with the Authority (PRIN 11) in the consumer credit sector. We imposed a cancellation.
  8. Final Notice 2019: Robert Lea Newell [pdf]

    Final notices Published: 01/08/2019
    This final notice (Robert Lea Newell) refers to a failure to satisfy the suitability threshold condition (COND) and to be open and co-operative with the Authority (PRIN 11) in the consumer credit sector. We imposed a cancellation.
  9. Final Notice 2019: AMG Specs Limited [pdf]

    Final notices Published: 29/07/2019
    This final notice refers to breaches of PRIN 11 related to failing to be open and cooperative in the consumer credit sector. We imposed a cancellation.
  10. Final Notice 2019: WGV Holdings Ltd [pdf]

    Final notices Published: 29/07/2019
    This final notice refers to breaches of PRIN 11 related to failing to be open and cooperative in the consumer credit sector. We imposed a cancellation.